Investment Compliance, Senior Associate Investment Compliance, Senior Associate …

State Street Corporation
in Hangzhou, Zhejiang Sheng, China
Permanent, Full time
Be the first to apply
Competitive
State Street Corporation
in Hangzhou, Zhejiang Sheng, China
Permanent, Full time
Be the first to apply
Competitive
State Street Corporation
Investment Compliance, Senior Associate
Who we are looking for:
Under supervision of Supervisor or Manager, the Investment Compliance Specialist will engage in various projects, special analysis and initiatives relating to technical aspects of the business

Provide technical support to Supervisor and Compliance teams to ensure all deliverables are produced and dispatched on time in accordance with client service level agreements and agreed quality standards

Why this role is important to us:
The team you will be joining is a part of State Street Global Services (SSGS). SSGS gives asset owners and managers access to the essential financial tools they need to deliver effective investment solutions. From core custody, accounting, fund administration and shareholder recordkeeping, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity and real estate, SSGS' tools help our clients make better investment choices and act on growth opportunities.
Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for:
As Investment Compliance Analyst, Senior Associate, you will:

TECHNICAL COMPETENCIES
PRINCIPAL TASKS
  • Suggest and create developments- evaluate their continuing effectiveness and accuracy
  • Initiate remedial action as necessary
  • Ensure documentation exists for any client-specific procedures
  • Participate as technical SME in the development, testing and implementation of new systems and products relating to the ongoing business transformation process. Provide regular progress reports and give feedback during project meetings
  • Act as central point of contact for technical issues encountered in the daily business
  • Track issue trends and escalate as needed
  • Contribute to "open surgery" sessions for technical issue resolution
  • Contribute to analysis and planning of Operating Model with the aim of standardizing processes and establishing best practice
  • Work closely with Training Department and business lines to identify training needs within the team. Ensure that those needs are met by delivering training sessions to staff on agreed topics

REVIEWING WORK AND ASSISTING TEAM SUPERVISOR

  • Review the work of others
  • Liaise with other internal clients and supporting departments for the purpose of obtaining key inputs to service delivery, resolving errors and discrepancies
  • Assist Team Supervisor in the organization of the Team and in ensuring that departmental procedures and controls are adhered to
  • Identify issues and problems in service delivery and carry out necessary corrective action. Keep team Supervisor informed of issues. Ensure the issues log is updated and track progress
  • Take leading role in setting client-specific solutions within the compliance system
  • Support Team Supervisor to ensure that accurate KPI are created and disseminated to the donor site
  • Provide technical support to compliance teams in relation to the compliance platform

NON - TECHNICAL COMPETENCIES
COMMUNICATION & RELATIONSHIPS

  • Provide timely and professional responses to all enquiries
  • Keep Team Supervisor informed as to the daily work progress and status of requests
  • Keep Manager updated with regard to project progress
  • Establish and maintain good working relationships with internal clients and colleagues. Demonstrate collaboration with other teams and departments
  • Demonstrate flexibility by supporting different client groups as well as contributing to a range of projects
  • Maintain standards of personal and professional performance/behavior
  • Demonstrate good time organizational skills in order to meet deadlines relating to projects and daily work

What we value:
These skills will help you succeed in this role:
  • Strong critical thinking, problem solving, and decision making skills

Education & Preferred Qualifications:
  • Accountancy/Business/Science related degree (preferred)
  • 3+ years of experience in investment compliance
  • 2+ years of proven experience with MQL or SQL coding

  • Strong numeracy and literacy skills
  • Excellent computer skills including knowledge of Excel spreadsheets and database applications
  • A thorough understanding of departmental compliance platform is required
  • Accuracy and ability to work with deadlines
  • Proficiency with investment compliance monitoring system
  • Excellent English
  • Proactivity and creativity in issues solving
  • Promoting an active and committed attitude, be open to questions and discussions
  • Motivating colleagues to make independent decisions
  • Ability to effectively manage time
  • Understanding of SQL query language would be an asset
  • Knowledge of VBA would be an advantage
  • Understanding or experience of Alteryx would be beneficial

Additional requirements:
  • Overtime may be required
About State Street
What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary in locations, but you may expect generous medical care, insurance and savings plans among other perks. You'll have access to flexible Work Program to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.
Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
Discover more at StateStreet.com/careers
Company Overview

From technology and product innovation to corporate responsibility and community development, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people - strengthening markets, building communities and creating opportunities for growth.

We owe that longevity to the commitment, expertise and creativity of our employees. Our continued success depends on our ability to attract and develop the best talent in the industry. That's why we're keenly focused on employee development, corporate citizenship and inclusion.

For us, success comes in the mark we make as an organization - for the industry, our clients, our communities and each other.

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